DAOD 6001-1, Information Management Programme

Table of Contents

  1. Introduction
  2. Definitions
  3. Overview
  4. Information Management Principles
  5. Supporting Tools
  6. Compliance and Consequences
  7. Responsibilities
  8. References

1. Introduction

Date of Issue: 2013-03-14

Date of Last Modification: 2022-02-08

Application: This DAOD is a directive that applies to employees of the Department of National Defence (DND employees) and an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF members).

Supersession: DAOD 6421-0, Records Management

Approval Authority: Assistant Deputy Minister (Information Management) (ADM(IM)) / Chief Information Officer (CIO)

Enquiries: Director Knowledge and Information Management (DKIM) 

2. Definitions

data (données)

Set of values of objects with respect to qualitative or quantitative variables representing facts, statistics, or items of information in a formalized manner suitable for communication, reinterpretation, or processing. (Policy on Service and Digital, Treasury Board)

    Note – In the DND and the CAF, data is created, collected and used both in military operations and exercises, and in     corporate administrative processes.

information (information)

The representation that a human or a machine assigns to data, facts or knowledge by means of known conventions such as reports, events, processes, decisions, ideas or opinions in any medium or form. (Defence Terminology Bank record number 696374)

information architecture (architecture de l’information)

The structure of the information and data components of an enterprise, their interrelationships, and principles and guidelines governing their design and evolution over time. Information architecture enables the sharing, reuse, horizontal aggregation, and analysis of information. (Policy on Service and Digital, Treasury Board

information asset (ressource d’information)

A body of information defined and managed as a single unit so the body of information can be understood, shared, protected and exploited effectively.

    Note – An information asset has recognizable and manageable value, risk and content for DND business and CAF     operations. (Defence Terminology Bank record number 696375)

information management (gestion de l’information)

A discipline that directs and supports the handling of information throughout its life cycle, including its planning, collection, organization, control, dissemination, use and disposition. (Defence Terminology Bank record number 42250)

information management functional specialist (spécialiste fonctionnel en gestion de l'information)

An individual who provides expert information management advice, monitoring and oversight to DND employees and CAF members. (Defence Terminology Bank record number 696376)

information management officer (officier de gestion de l’information)

An individual who is an information management functional specialist at the level one advisor, commander of command or other organizational level. (Defence Terminology Bank record number 696377)

transitory information (information éphémère)

Information that is required only for a limited time to complete an action or develop other information. (Defence Terminology Bank record number 696515) 

 

3. Overview

Context

3.1 Information management (IM) is the responsibility of every DND employee and CAF member to ensure the stewardship of all information with respect to DND business and CAF operations. ADM(IM)/CIO, in the role of the Defence CIO, leads strategic IM and ensures that IM is well-established by the delivery, on a timely basis, of secure and trusted information in support of effective and efficient decision-making.

3.2 This DAOD:

  1. outlines the principles, practices, supporting tools, governance, roles and responsibilities of the IM Programme required for strategic IM in the DND and the CAF; and
  2. sets the foundations for a sound and mature IM Programme that constantly enables the DND to meet its business objectives and the CAF to succeed in their operations.

3.3 Any information resulting from DND business or CAF operations, including government or institutional records from the office of the Minister, is the property of the DND and the CAF.

3.4 DND and CAF information, regardless of its medium or format, must be managed in accordance with this DAOD and other relevant instruments listed in the References section.

3.5 This DAOD should be read in conjunction with the DND and CAF IM and IT Policy Framework and other relevant policies, directives, instructions, standards and guidelines.

Objectives

3.6 The objectives of this DAOD are to:

  1. set out IM principles for the DND and the CAF and enable their application; and
  2. establish the governance, roles and responsibilities for strategic IM in the DND and the CAF.

Expected Results

3.7 The expected results of this DAOD are the following:

  1. the implementation of effective IM practices derived from IM principles;
  2. the use of agile IM policy instruments, tools and services to meet DND business and CAF operational requirements; and
  3. the support of Government of Canada (GC) IM direction by the DND and the CAF.

     

4. Information Management Principles

General

4.1 This section sets out the eight key IM principles and associated practices required for effective and strategic DND and CAF IM. The eight principles are grouped into the following four categories:

  1. accountability;
  2. transparency and availability;
  3. integrity, protection, retention and disposition; and
  4. compliance.

4.2 All IM principles must be concurrently sustained and enabled by digital and client-centric approaches as described in paragraphs 4.25 to 4.27.

Accountability

4.3 The accountability principle is met through the identification of clear roles and responsibilities for DND and CAF IM and the inclusion of IM governance in all aspects of DND business and CAF operations. This principle requires:

  1. a DND and CAF IM governance model;
  2. level one advisor (L1) information management officers (L1 IMOs);
  3. the Knowledge and Information Management Steering Committee (KIMSC); and
  4. other governance bodies with IM representatives.

4.4 Under the DND and CAF IM governance model, accountability is provided by:

  1. the Defence CIO who:
    1. acts as the functional authority for DND and CAF IM; and
    2. sets IM direction, oversight and guidance for DND and CAF organizations to ensure that  information is managed as a strategic asset; and
  2. L1s and commanders of a command or formation who:
    1. are required to comply with Defence CIO direction with respect to IM;
    2. report their IM Programme progress; and
    3. develop amplifying IM policies, directives, instructions, standards and guidelines as required in their organizations.

4.5 An L1 or a commander of a command or formation must:

  1. appoint an L1 IMO who is responsible for coordinating IM activities in their organization; and
  2. establish and implement, within their organization, an IM governance structure that integrates the roles and responsibilities of their L1 IMO, other IMOs and other persons completing IM tasks within their organization in compliance with the DND and CAF IM governance model.

4.6 An L1 IMO:

  1. is a DND employee or CAF member at the L1 or commander of a command or formation level;
  2. is the primary point of contact within their area of responsibility on IM matters;
  3. provides IM guidance and oversight within their organization;
  4. recommends IM direction, procedures, services and training to the L1 or commander of their organization; and
  5. reports the IM Programme progress of their organization to DKIM.

4.7 The detailed responsibilities of an L1 IMO are set out in the Table to paragraph 7.1.

4.8 L1s, commanders of a command or formation, and commanding officers should appoint other IMOs in their organizations, as required, to closely collaborate with the L1 IMO for the completion of IM-related tasks.

4.9 The KIMSC:

  1. is established under the authority of the Defence CIO to:
    1. provide oversight, governance and guidance to the DND and CAF IM community; and
    2. advise the Defence CIO on IM requirements and provide recommendations;
  2. is comprised of IM representatives designated at the Director level or CAF equivalent for each DND and CAF L1 organization;
  3. is chaired by the DKIM Director;
  4. meets as required;
  5. is aligned with other governance bodies and supports DND and CAF overarching direction for the integrated management of service, information, data, information technology (IT) and cyber security; and
  6. may establish additional working groups, as required, to address IM issues and support the objectives of this DAOD.

4.10 L1 IMOs should participate as subject matter experts at the KIMSC but do not hold voting privileges unless they are the KIMSC representative designated for their organization.

4.11 The detailed responsibilities and the reporting structure of the KIMSC are set out in its terms of reference (TOR). A link to the TOR is provided in the References section.

4.12 Given that IM is an essential component of DND business and CAF operations, any governance body at which IM or the IM Programme is discussed must have an IM representative at the appropriate level to ensure that information is managed as a strategic asset.

Transparency and Availability

4.13 The transparency principle is met when DND business and CAF operations are conducted and documented in an open and verifiable manner while respecting security, privacy and legal requirements.

4.14 The availability principle is based on the ability of DND and CAF organizations to have access to timely, secure and trusted information.

4.15 Subject to security, privacy and legal requirements, L1s and commanders of a command or formation must ensure that:

  1. information is open by default to facilitate collaboration, use and reuse, and is shared to the greatest extent possible in the DND and the CAF, and with other government departments (OGDs) and agencies; and
  2. information assets eligible for public release are identified, including those under proactive disclosure, and released in a timely manner through the GC Open Government Portal website.

Note – In this DAOD, “information assets”:

  1. have the same meaning as ‘‘information resources of business value’’ in the Policy on Making Holdings Available of the Library and Archives Canada (LAC);
  2. are considered to be ‘‘information of business value’’ as used in the Directive on Service and Digital of the Treasury Board (TB); and
  3. do not include transitory information.

4.16 Information must be created in an accessible format, as appropriate, in accordance with the Accessible Canada Act, and any other relevant GC, DND and CAF policies, directives, instructions, standards and guidelines.

4.17 L1s and commanders of a command or formation must ensure that their organizations:

  1. maximize the removal of access restrictions on information of archival value prior to its transfer to LAC as part of disposition activities; and
  2. design, develop and implement designated corporate repositories in compliance with paragraph 4.15.

4.18 L1s and commanders of a command or formation must ensure that the requirements established in paragraphs 4.15 to 4.17 are integrated in any new plan for procuring, designing, developing or modernizing DND and CAF information applications, systems, processes or solutions in support of the delivery of programmes, services and operational objectives.

 

 

Integrity, Protection, Retention and Disposition

4.19 The integrity principle is met when information assets have an assurance of authenticity and reliability. Any alteration to information assets must be traceable.

4.20 The protection principle is met when L1s and commanders of a command or formation ensure that all DND and CAF information in their organizations:

  1. receives the appropriate level of protection;
  2. is safeguarded, labelled, handled and stored in accordance with DND and CAF protection measures; and
  3. is guarded against unauthorized access, disclosure or destruction in accordance with DND and CAF policies, directives, instructions and standards, including consideration for:
    1. security of information;
    2. legal, regulatory and privacy risks; and
    3. access to information and protection of personal information requirements.

4.21 The retention and disposition principles are met when L1s and commanders of a command or formation ensure that all DND and CAF information in their organizations is:

  1. retained based only on legal, business and operational requirements and its archival value; and
  2. regularly disposed of in accordance with established retention periods applicable to DND and CAF information.

4.22 Information of archival value must be transferred to LAC.

4.23 L1s and commanders of a command or formation must adopt the following practices to support the integrity and protection of information, and retention and disposition activities:

  1. information assets are:
    1. identified based on the analysis of the functions and activities carried out by the DND and the CAF to enable and support their legislated mandate;
    2. managed, regardless of medium or format, throughout their life cycle;
    3. created, stored, transferred and managed in DND and CAF designated corporate repositories, in compliance with security, privacy and legal requirements;
    4. organized logically and systematically according to established DND and CAF enterprise architecture or classification structures; and
  2. transitory information is disposed of when it is no longer required, in compliance with IM, security, privacy and legal requirements and procedures.

Compliance

4.24 The compliance principle is met by L1s and commanders of a command or formation ensuring that the IM principles, practices, roles and responsibilities described in this DAOD are implemented in compliance with applicable laws, and GC, DND and CAF policies, directives, instructions and standards.

Digital Approach

4.25 L1s and commanders of a command or formation must ensure that digital systems and tools are adopted, and that the usage of paper-based processes are reduced to the greatest extent possible when managing information in their organizations. This includes:

  1. primarily adopting a digital approach when designing, developing and implementing new processes, tools, services and practices, in compliance with IM, security, privacy and legal requirements; and
  2. elaborating a justification to be submitted as part of the architecture review process when new processes, tools, services are enabled by a different approach than digital.

Client-Centric Approach

4.26 IM policy instruments, services and tools must be designed and implemented to support DND business, CAF operations and L1 organizations in a centralized manner, with particular attention on being inclusive and accessible while meeting GC security, legal, privacy and official language requirements.

4.27 Any approved enterprise IM solution, used to document DND and CAF activities, decisions and decision-making processes, must be aligned with the GC enterprise IM solution. The approved enterprise IM solution must:

  1. be implemented based on business and operations requirements; and
  2. take an iterative and agile approach, incorporating user feedback and long-term retention requirements.

5. Supporting Tools

Disposition Authorizations

5.1 Subsection 12(1) of the Library and Archives of Canada Act provides that no government or ministerial record can be disposed of, including by being destroyed, without the written consent of the Librarian and Archivist or a person to whom the Librarian and Archivist has, in writing, delegated the power to give such consents.

5.2 In order to enable GC departments to carry out disposition activities, LAC issues disposition authorizations that delegate disposition authorities to individual departments.

5.3 The Defence Subject Classification and Disposition System (DSCDS) is the disposition authority that provides instructions and guidelines to the DND and the CAF to ensure that the retention and disposition of information assets is conducted in accordance with the Library and Archives of Canada Act.

5.4 The DSCDS has documented most disposition authorizations prevailing throughout the DND and the CAF. However, there are still complementary authorizations to the DSCDS that exist as individual disposition authorizations. These complementary authorizations are available in the LAC Records Disposition Authorities Control System.

5.5 Any changes or exemptions to current disposition authorizations or to the DSCDS must be approved by the Defence CIO and LAC.

Enterprise Information Architecture (EIA)

5.6 The EIA is a foundational information architectural artefact that permits the classification of information assets based on the functions and activities carried out by the DND and the CAF in support of their mandate.

5.7 The DSCDS and additional disposition authorizations complement the EIA and associate appropriate retention and disposition requirements for information assets.

5.8 L1s and commanders of a command or formation must ensure that their organizations:

  1. adopt the validated and approved EIA;
  2. collaborate with DKIM to align their repositories, tools, services and information structure with EIA;
  3. inform DKIM and DSCDS administrators of any new functions and activities carried out by their organizations; and
  4. review and endorse, if necessary, portions of the EIA that reflect their functions and activities for accuracy, relevance and representativeness.

5.9 The DSCDS information structure must be used as an interim solution to identify information until a validated and approved EIA has been formally endorsed and implemented.

5.10 Any changes or exemptions to the EIA must be approved by DKIM.

6. Compliance and Consequences

Compliance

6.1 DND employees and CAF members must comply with this DAOD. Should clarification of the policies or instructions set out in this DAOD be required, DND employees and CAF members may seek direction through their channel of communication or chain of command, as appropriate. Managers and military supervisors have the primary responsibility for and means of ensuring the compliance of their DND employees and CAF members with this DAOD.

Consequences of Non-Compliance

6.2 DND employees and CAF members are accountable to their respective managers and military supervisors for any failure to comply with the direction set out in this DAOD. Non-compliance with this DAOD may have consequences for both the DND and the CAF as institutions, and for DND employees and CAF members as individuals. Suspected non-compliance may be investigated. Managers and military supervisors must take or direct appropriate corrective measures if non-compliance with this DAOD has consequences for the DND or the CAF. The decision of an L1 or other senior official to take action or to intervene in a case of non-compliance, other than in respect of a decision under the Code of Service Discipline regarding a CAF member, will depend on the degree of risk based on the impact and likelihood of an adverse outcome resulting from the non-compliance and other circumstances of the case.

6.3 The nature and severity of the consequences resulting from non-compliance should be commensurate with the circumstances of the non-compliance and other relevant circumstances. Consequences of non-compliance may include one or more of the following:

  1. the ordering of the completion of appropriate learning, training or professional development;

     

  2. the entering of observations in individual performance evaluations;

     

  3. increased reporting and performance monitoring;

     

  4. the withdrawal of any authority provided under this DAOD to a DND employee or CAF member;

     

  5. the reporting of suspected offences to responsible law enforcement agencies;

     

  6. the application of specific consequences as set out in applicable laws, codes of conduct, and DND and CAF policies and instructions;

     

  7. other administrative action, including the imposition of disciplinary measures, for a DND employee;

     

  8. other administrative or disciplinary action, or both, for a CAF member; and

     

  9. the imposition of liability on the part of Her Majesty in right of Canada, DND employees and CAF members.

     

Note – In respect of the compliance of DND employees, see the Treasury Board Framework for the Management of Compliance for additional information.

7. Responsibilities

Responsibility Table

7.1 The following table identifies the responsibilities associated with this DAOD:

The ... is or are responsible for ...
ADM(IM)/CIO
  • providing IM Programme direction, governance, oversight and guidance for the DND and the CAF;
  • ensuring that open government requirements are in place and implemented in the DND and the CAF;
  • providing approval for the IM component of all DND and CAF strategies, plans, initiatives, projects, procurements and spending authority requests;
  • ensuring that adequate IM governance and accountability structures are in place in the DND and the CAF;
  • recommending, for Deputy Minister approval, the IM portion, including DND and CAF IM progress reports, of the annual forward-looking three-year DND and CAF plan for the integrated management of service, information, data, IT and cyber security, and ensuring that the IM portion of the plan is informed by the DND and CAF information strategy;
  • identifying an approved enterprise IM solution to be used for documenting activities, decision-making processes and decisions in the DND and the CAF; and
  • providing functional leadership in the DND and the CAF on the development and sustainability of the IM community through talent management and community development strategies.
L1s and commanders of a command or formation
  • ensuring compliance and implementation of this DAOD within their organizations;
  • establishing IM governance within their organizations in accordance with the Defence CIO IM direction and governance structures;
  • developing and implementing IM plans that meet the business and operational requirements of their organizations in accordance with GC, DND and CAF IM directions;
  • reporting their IM plans annually to DKIM to ensure alignment and compliance with DND and CAF IM requirements;
  • ensuring IM requirements are addressed during the planning, design, development, implementation, evaluation and reporting of their programmes, services, business and operations;
  • implementing and using digital systems as the preferred means of creating, using and managing information;
  • appointing an L1 IMO;
  • ensuring their L1 IMO understands their roles and responsibilities, and receives appropriate IM training;
  • including IM requirements for in and out clearance processes;
  • implementing open government requirements within their organizations;
  • ensuring that appropriate processes are implemented within their organizations for the management of information received from OGDs, agencies, individuals and external entities, including non-governmental entities; and
  • developing amplifying IM policies, directives, instructions, standards and guidelines to meet the requirements of their organizations.

DKIM

 

  • monitoring the IM Programme;
  • providing advice and monitoring to DND and CAF organizations on their IM practices;
  • identifying DND and CAF information assets in collaboration with L1s and commanders of a command or formation;
  • establishing and maintaining information architecture in alignment with applicable standards of the GC, allies and international entities;
  • establishing and maintaining classification structures to manage, store, search and retrieve information in all formats according to GC, DND and CAF standards;
  • identifying, establishing, implementing and maintaining designated corporate repositories in which information is managed throughout its life cycle in compliance with security, privacy and legal requirements;
  • reviewing IM plans for alignment and compliance with DND and CAF IM requirements;
  • using a client-centric approach while developing and implementing methodologies, processes and tools to support the use of digital systems as the preferred means of creating, using and managing DND and CAF information;
  • developing, implementing and providing IM briefings and training, including L1 IMO training;
  • developing open government requirements in collaboration with DND and CAF organizations;
  • monitoring the release of DND and CAF information and data as an open resource, including information and data under proactive disclosure;
  • providing, to the ADM(IM)/CIO, the IM portion, including DND and CAF IM progress reports, for the annual forward-looking three-year DND and CAF plan for the integrated management of service, information, data, IT and cyber security, and ensuring that the IM portion of the plan is informed by the DND and CAF information strategy;
  • documenting information life cycle management practices within the DND and the CAF that address accountability, stewardship, performance measurement, reporting, security, privacy and legal requirements;
  • maximizing the removal of access restrictions on information and data that:
    • are orphaned, i.e. without ownership or office of primary interest; and
    • have been identified as having archival value before the information or data is transferred to LAC as part of disposition activities, in accordance with GC, DND and CAF instructions and guidelines;
  • establishing and maintaining retention periods for all information and data in collaboration with L1s and commanders of a command or formation, as appropriate;
  • supporting DND and CAF organizations to identify their information of archival value in collaboration with LAC;
  • coordinating, authorizing and documenting all disposition activities for DND and CAF information and data, as required, on behalf of the DND and the CAF; and
  • representing the DND and the CAF for the negotiation of changes or exemptions to disposition authorities with LAC.
L1 IMOs
  • providing IM guidance and oversight within their organizations;
  • recommending IM direction, procedures, services and training for their organizations to their applicable L1 or commander;
  • supporting the development, implementation and reporting of the IM plans of their organizations;
  • releasing open information and data, including information and data under proactive disclosure, through the GC Open Government Portal website in collaboration with DKIM;
  • documenting IM life cycle practices that address accountability, stewardship, performance measurement, reporting, security, privacy and legal requirements within their organizations;
  • implementing established retention periods for the information and data of their organizations;
  • developing and documenting, in collaboration with DKIM, a disposition process, and performing regular disposition activities for all information and data in their organizations, in accordance with DND and CAF disposition requirements;
  • maximizing the removal of access restrictions on information and data that have been identified as having archival value before the information or data is transferred to LAC as part of disposition activities, in accordance with GC, DND and CAF instructions and guidelines; and
  • reporting the IM progress of their organizations to DKIM.
managers and commanding officers
  • complying with all GC, DND and CAF IM policies, directives, instructions and standards;
  • informing DND employees, CAF members, contractors and other persons, who create or manage DND and CAF information, of the requirement to document and safeguard their activities and decisions of business or operational value;
  • including IM requirements and responsibilities in the performance objectives of DND employees and evaluation reports of CAF members;
  • including IM requirements in contracts, setting IM conditions for contractors and other persons or organizations working on behalf of the DND and the CAF, and ensuring the compliance of contractors and other persons with the IM conditions;
  • ensuring that DND employees, CAF members, contractors and other persons who create or manage DND and CAF information attend IM briefings and complete IM training; and
  • consulting with their applicable IMO when authorizing the disposition of information assets and data in their organizations.
DND employees and CAF members
  • complying with all GC, DND, CAF and organizational IM policies, directives, instructions and standards;
  • documenting and safeguarding their activities and decisions of business or operational value; and
  • disposing of transitory information when it is no longer required.

8. References

Acts, Regulations, Central Agency Policies and Policy DAOD

 

Other References

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